Alfonso Aduna is the managing member and registered adviser of Aduna Capital. He leads every client relationship personally, and built the firm around a $0 minimum so that the families and business owners of southeast LA County could get fiduciary advice without a wealth requirement.
What working with Alfonso looks like
There is no team of junior advisers here and no hand-off after the sale. Every client — the family opening a first account and the business sponsoring a 401(k) — works directly with Alfonso, in English or Spanish, at the Norwalk office, at your business, or in the evening by video when that's the only time that works.
His practice concentrates where this community's needs actually are: first-generation wealth building, 401(k) rollovers, retirement plans for small employers under the CalSavers mandate, and the CalPERS/CalSTRS/LACERA decisions public employees face.
Background
- Investment Adviser Representative, Aduna Capital (firm CRD #311270 · individual CRD #6449637), registered with the California DFPI since 4 January 2021
- Series 65 — Uniform Investment Adviser Law Examination, passed 20 August 2020. This is the qualification that permits giving investment advice for a fee in California.
- Series 63 — Uniform Securities Agent State Law Examination, passed 28 May 2015
- BA in Finance, California State University, Fullerton, 2010
- BA in Political Science, California State University, Los Angeles, 2009
- Managing Member of Aduna Capital since July 2020
- No disclosures — no customer complaints, regulatory actions, or other disclosure events on his record or the firm's
- Bilingual — English and Spanish
Verify, don't take our word. Every line above is on the public record: the individual report for CRD #6449637 and the firm report for CRD #311270 at adviserinfo.sec.gov, maintained by the SEC. Exam dates, registration dates and the disclosure history come from there, not from us. No credential appears on this page that isn't independently checkable. Alfonso is also on LinkedIn, and the firm has a company page.
Why he does this
In Alfonso’s words:
“We exist because we are not the adviser you had before — the one who plays golf every day. We look at the market daily, top to bottom and bottom to top. We analyse it, we research it, and we go through your accounts with you rather than mailing you a statement once a quarter.
You have access to your adviser. You can text him. You can call him. There is no service team between us.
And we are in it for the length of your life, not the length of a sales cycle. We are there when your children are born, when you take your first job, when you take the job that changes everything, and when you finally stop working. That is not a marketing line — it is what a family firm in a city like this one is actually for.”
Daily market work is how we do the job. It is not a claim that we can predict markets or beat them, and nobody can promise you that.
Other business activities
Alfonso's current Form ADV brochure supplement discloses ownership interests in Aduna Travel LLC and QJJJ56. The brochure describes QJJJ56 as an insurance company and states that the activity is not investment related. Read the supplement for the complete disclosure.
Talk to Alfonso directly
The first conversation is always with him — fifteen minutes, no cost, either language.